Senior Director, Business Unit Compliance Liaison
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Ameriprise Financial Services, LLCCore Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates extensive experience in risk management, governance, and regulatory compliance within financial services, with a strong focus on broker-dealer operations. Proven ability to lead teams, build relationships, and drive continuous improvement in risk awareness and control functions.
Highest-signal resume keywords
Risk ManagementGovernance OversightRegulatory ReportingTeam LeadershipBroker-Dealer Regulations
About the role
Key responsibilities & impact- Lead the centralized risk team for Wealth Management Solutions
- Provide direct oversight of governance, risk, and control functions
- Oversee regulatory reporting, control functions, reporting dashboards, general ledger reconciliations, and related reporting processes
- Lead governance routines and committee coordination, including product, business review, risk, conflicts, and Regulation Best Interest governance forums
- Coordinate risk program meetings, regulatory budget management, requests and approvals, Risk Event management, process inventory, Risk and Control Self-Assessment oversight, testing coordination, and annual risk assessments
- Oversee policy, procedure, and supervisory control governance
- Coordinate internal and external audit activities, regulatory affairs requests, vendor risk oversight, licensing tracking and reporting, certifications, and contract repository governance
- Act as a primary liaison with business partners, Internal Audit, Compliance, Legal, and regulators
- Identify control gaps and deficiencies, assess risk exposure and materiality, and implement remediation strategies
- Build partnerships with senior leaders and enterprise business partners
- Promote continuous improvement and risk awareness across Wealth Management Solutions
- Lead and develop a team of risk professionals through performance management, coaching, mentoring, and career development
- Foster accountability, risk awareness, and continuous improvement
Requirements
What you’ll need- Bachelor’s degree or equivalent experience
- 10+ years of financial services experience with a focus on risk management, controls, and broker-dealer operations
- Active FINRA Series 7 and Series 24 licenses
- Strong knowledge of broker-dealer regulations and regulatory reporting frameworks
- Experience leading risk, governance, audit, supervisory control, policy, licensing, vendor risk, and related oversight routines
- Proven ability to influence and collaborate across business lines and external stakeholders
- Prior team leadership experience
- Strong relationship building skills, including highly effective communication skills with the ability to identify and resolve/mitigate issues or risks
- Strong analytical, organizational, and time management skills
- Ability to drive results and meet deadlines to reduce risks
- Strong written and verbal communication skills
- Must be able to work independently
- Experience with advisory products, investment products, annuities, insurance, and retirement plans
- Valid work authorization that does not now, or in the future, require visa sponsorship for employment in the United States
Benefits
Comp & perks- Variable pay in the form of bonus, commissions, and/or long-term incentives depending on the role
- Vacation time
- Sick time
- 401(k)
- Health insurance
- Dental insurance
- Life insurance
- Flexibility to work from home one (1) day per week
ATS Keywords
✓ Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Risk AssessmentControl FunctionsPolicy GovernanceAudit CoordinationRegulatory CompliancePerformance ManagementAnalytical SkillsTime ManagementLicensing TrackingVendor Risk Oversight
Soft Skills
Effective CommunicationRelationship BuildingCollaborationProblem SolvingCoaching and Mentoring
Tools & Technologies
Reporting DashboardsGeneral LedgerRisk Event ManagementRisk and Control Self-Assessment
Certifications & Qualifications
FINRA Series 7 LicenseFINRA Series 24 License
Industry Keywords
Financial ServicesBroker-Dealer OperationsRegulation Best InterestAdvisory ProductsInvestment ProductsAnnuitiesInsuranceRetirement Plans